Statement of Intent

The ATC named above is committed to ensuring the ATC staff and the sites comply with current legislation and best practice recommendations. We take every care to ensure that the course facilities and equipment are fit for purpose and supported by any necessary risk assessments.

It is our aim to:

• Ensure our services are operating within current legislation and in line with best practice recommendations
• Ensure our courses are run in line with Safety Training Awards requirements
• Identify the responsibilities for health and safety within the ATC
• Identify the responsibilities for health and safety at each site used for the delivery and assessment of courses
• Define the procedures for reporting of concerns, accidents, and near misses.

Responsibilities for Health and Safety

The ATC Co-ordinator has the following responsibilities regarding health and safety:

• Remain up to date with current legislation, best practice recommendations, Safety Training Awards requirements, and ATC policies
• Ensure Tutors and Assessors are aware of their responsibilities regarding health and safety upon acceptance of the course
• Ensure all parties including the customers, learners, Tutor and Assessor are aware of their responsibilities regarding maintenance of the premise and equipment
• Ensure the relevant site/venue documents are completed by the client (site/venue) and analyse the suitability of the site/venue to meet the course requirements
• Ensure sites/venues are aware of their responsibilities regarding health and safety upon acceptance of the course booking
• Assess the competence of the Tutors, Assessors to complete the course safely
• Organise suitable training and instruction for ATC staff as required
• Ensure the health and safety procedures adequately cover the learners
• Monitor accident reporting and near misses to determine if further action needs to be taken.

Tutors, Assessors have the following responsibilities regarding health and safety:

• Remain up to date with current legislation, best practice recommendations, Safety Training Awards requirements, and ATC policies
• Retain records of any risk assessments for the generic activities that you carry out as a Tutor or Assessor
• Carry out regular maintenance on the equipment in line with manufacturer guidelines, ensuring it is in good working order
• Carry out annual portable appliance testing (PAT) on any electrical equipment used for course delivery
• Take reasonable care of their own health and safety and that of others who may be affected by their actions
• Review site/venue specific documents including risk assessments and normal operating procedures and emergency action plans as necessary
• Complete an accident report form if any accidents occur
• Feedback any concerns or issues to the ATC Co-ordinator.

Client site/venue have the following responsibilities regarding health and safety:

• Ensure the site/venue complies with current legislation and best practice recommendations, for example HSE’s managing health and safety in swimming pools
• Have an up to date risk assessment and COSHH sheets for any areas to be used during the course
• Carry out regular maintenance on the equipment in line with manufacturer guidelines, ensuring it is in good working order
• Carry out annual portable appliance testing (PAT) on any electrical equipment used for course delivery
• Provide copies of the site/venue normal operating procedure and emergency action plans
• Advise the course Tutor, Assessor on any site hazards, controls, safety rules as necessary
• Advise the course Tutor, Assessor on any emergency procedure and the location of the welfare facilities
• Feedback any concerns or issues to the ATC Co-ordinator.

Procedures

Accident Reporting

Accident report forms will be included in the paperwork pack which the course Tutor receives when delivering a course on behalf of the ATC named above. If an accident occurs on the course the Tutor must complete an ATC accident report form as well as any site/venue specific forms as required by the site/venue. The ATC Co-ordinator must be notified at the earliest opportunity and any accident forms must be returned to the ATC. The ATC Co-ordinator will follow up any accident report and conduct further investigation if necessary.

Supporting Information

• STA Qualification specifications
• Health and Safety at Work Act 1974
• Management of Health and Safety at Work Regulations 1999
• Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013
• HSE’s Manging Health and Safety in Swimming Pools
• Control of Substances Hazardous to Health (COSHH) Regulations 2002
• Manual Handling Operations Regulations 1992.

Purpose

We are committed to providing an efficient and high standard of service to all. It is our aim to ensure that all assessment outcomes are fair, consistent, and reliable based on the valid judgements of the assessor using the assessment strategy for the STA qualification on offer. However, occasions may arise where the learner may wish to question a decision.

Policy

We will ensure:

• Assessments are carried out by assessors who have the appropriate qualifications, knowledge, understanding, and skills, and the assessments are valid for the subject or qualification in question
• Assessment evidence is authentic, solely being produced by the learner in question
• Consistency of assessment decisions covering all assessors over time
• Appeals are heard by individuals that have the appropriate competence to make decisions in each individual case and have had no prior involvement, or a personal interest in the case.

Everyone has the right to appeal if they believe that their assessment decision, or a decision following a malpractice or maladministration investigation is incorrect. This policy will define the stages and procedures you would need to follow, guidance is as follows:

• The process you need to follow to submit an enquiry or appeal
• The timescales for an enquiry or appeal
• How and when you will be notified of the outcome.

We will accept an appeal in relation to the following:

• • Appeals against results of a course assessment and/or internal quality assurance monitoring activities
  • Appeals against a decision made relating to a reasonable adjustment or special considerations application
  • Appeals against decisions relating to any action taken against a learner following an investigation into malpractice or maladministration.

Firstly, we advise all learners to discuss any concerns or enquiries relating to the result of the assessment with the assessor to resolve the issue. If you are not satisfied with the outcome then please contact the ATC Co-ordinator for further advice and guidance.

ATC Appeals Process

If a learner is unhappy about the assessment decision awarded to them, they must first go through the ATC named above appeals process prior to contacting Safety Training Awards (STA). Where possible, the ATC Co-ordinator will carry out an initial, informal assessment of the appeal, to ensure the application is complete and to ascertain if the issue can be resolved before it goes to a formal appeal. We may do so over the telephone or via email.

In all cases we will ensure that the person carrying out this initial check does not have a personal interest in the decision being appealed. All actions will be confirmed via email.

On occasions a more formal approach is required and in these cases your appeal must be put in writing via email directly to the ATC Co-ordinator. If the appeal cannot be put in writing, a member of our team will relay any verbal communications via email, to ensure all details have been understood. How to Submit an Appeal Appeals should be made in writing via email to the ATC Co-ordinator within 10 working days of the assessment date. Please find the ATC and ATC Co-ordinator contact details at the start of this policy.

The appeal email must include the following information:

• • • Learner’s name and contact details
    • Venue / site name
    • Tutors name
    • Assessors name
    • Names of others involved
    • Details of the reasons to appeal
    • Copies of any supporting evidence.

If the appeal is excessively long or complex, we may ask you to provide a summary so that we are clear what the issues are. All appeals will be acknowledged within 5 working days, investigated, and a response provided within 14 working days.

If the process is likely to take longer, we will contact all involved to inform them of the revised timescale. We will endeavour to complete any appeals within 14 working days of receipt of the initial appeal. To ensure a fair and thorough investigation, the duration may depend on the nature and severity of the appeal received, and the investigating team member will notify the appellant as soon as possible, if the investigation will take longer than expected. If your appeal is not upheld, we will explain the reasons why via telephone and email.

Procedure to Escalate Appeals to Safety Training Awards (STA) A learner may escalate an enquiry or appeal after they have exhausted the ATCs enquiries and appeal process and remain dissatisfied with the outcome. Any enquires and appeals must be submitted to Safety Training Awards (STA) within 28 days of course results being issued to the learner. Please refer to the Safety Training Awards enquiries and appeals policy on the website for further information https://www.safetytrainingawards.co.uk/.

Regulatory Escalation Procedures

Ofqual (England) and Qualifications Wales (QW) Escalation Procedures

If a customer or learner is not satisfied with the outcome decision from an ATC and Safety Training Awards Enquiries and Appeals procedures, they may escalate an appeal to the relevant regulator. Please note the regulators are unable to overturn an assessment decision for regulated qualifications that are offered by an Awarding Organisation (AO).

Ofqual Earlsdon Park,
53-55 Butts Road Coventry,
CV1 3BH
Tel: 0300 303 3344 / Email: public.enquiries@ofqual.gov.uk
Ofqual_complaints_procedure.pdf

Qualifications Wales Q2 Building,
Pencarn Lane, Imperial Park,
Coedkernew Newport,
NP10 8AR
Tel: 01633 373 222 / Email: enquiries@qualificationswales.org

SQA Accreditation (Scotland) Escalation Procedures

If a customer or learner is not satisfied with the final response from the ATC they may submit their enquiry or appeal to Safety Training Awards by referring to the relevant policy on the website and following the correct procedures. If a customer or learner is not satisfied with the outcome of the appeal to Safety Training Awards they may refer the complaint to SQA Accreditation (Scotland).

If the complaint relates to delivery by a school or public leisure centre, or any other public body in Scotland, the complaint may also be referred to the Scottish Public Service Ombudsman.

Please see below for the relevant contact details:
SQA Accreditation (Scotland) SQA Accreditation,
The Optima Building,
58 Robertson Street, Glasgow, G2 8DQ
Tel: 0345 213 5249
Website: SQA Accreditation
Email: accreditation@sqa.org.uk

For complaints relating to schools or public leisure centres in Scotland a complaint can be raised with the Scottish Public services Ombudsman as follows:

SPSO Freephone adviceline: 0800 377 7330
Fax: 0800 377 7331
Website: https://www.spso.org.uk/how-to-complain-about-public-service

Online contact form: www.spso.org.uk/contact-form
You can fill in our complaints form online at www.spso.org.uk/complain/form
In Person: SPSO, Bridgeside House,
99 McDonald Road, Edinburgh, EH7 4NS

By Post: Freepost SPSO

Purpose

We are committed to providing an efficient and high standard of service to all. We take every care to ensure we are delivering a high standard of service but are aware that there may be occasions that we do not meet both yours and our expectations, in this instance please raise your concerns with us immediately so we can address them, respond positively, and rectify any mistakes made.

Policy

Our policy is to provide equality and fairness for all ATC staff, customers, and learners. We are committed to promoting fairness and equality of treatment to all. We welcome positive or negative feedback from any individual that has been negatively affected by our services. We strive to think our learners have confidence that we will listen to their views and act upon them accordingly.

Our aim is to provide our learners with a clear, precise process to follow when they feel the need to make a complaint.

We aim to ensure:

• The complaints procedure is an easy process to follow and is prompt and efficient
• All complaints are treated as a dissatisfaction with our level of service
• The resolution is to the complainant’s satisfaction (explanation, apology, action taken) and our staff when dealing with the complaint are courteous, consultative, and responsive
• Complaints and feedback received is reviewed in line with our quality assurance standards to help improve our products and services.

When responding to complaints, we aim to:

• • Be impartial
  • Facilitate a full and fair investigation by an independent person or panel, where necessary
  • Address all the points raised and provide an effective and prompt response
  • Respect confidentiality always
  • Treat complainants with respect
  • Keep complainants informed of the progress of the complaints process.

We try to resolve concerns or complaints by informal means wherever possible. Where this is not possible, formal procedures will be followed.

Raising Concerns and How to Make a Complaint

Everyone has the right to raise a complaint so this policy will define the stages and procedures you would need to follow, guidance is as follows:

• • • The process you need to follow to raise a complaint
    • The appropriate person who this should be directed to
    • The timescales for the complaint to be investigated
    • How and when you will be notified of the outcome.

We intend to address complaints as quickly as possible. To achieve this, realistic and reasonable time limits will be set for each action once the necessary details of the complaint have been received.

Where further investigations are necessary, new time limits will be set, and the complainant will be provided of the new deadlines.

We expect that complaints will be made as soon as possible after an incident arises, and no later than 10 working days afterwards. We will consider exceptions to this time frame in circumstances where there were valid reasons for not making a complaint at that time, and the complaint can still be dealt with in a fair manner for all involved.

Informal Complaint

We will take informal concerns seriously and make every effort to resolve the matter quickly. It may be the case that a discussion and clarification of information will resolve the issue. The complainant should raise the complaint as soon as possible with the ATC Co-ordinator, either in person, by telephone, email, or letter.

Please refer to the ATC and ATC Co-ordinator contact details at the start of this policy. We will acknowledge informal complaints within 10 working days, investigate and provide a response within 14 working days.

If the complaint is not resolved informally, it may be escalated to a formal complaint.

Formal Complaint

The complainant should inform the ATC Co-ordinator by email they wish to pursue a formal complaint. The email should provide details such as dates, times, and the names of witnesses to the events, alongside copies of any relevant / supporting documents. The complainant should state what they feel would resolve the complaint.

The ATC Co-ordinator or designated member of ATC staff may contact the complainant in person, telephone, email or by letter to clarify concerns and seek a resolution.

The ATC Co-ordinator, or other person appointed by the ATC Co-ordinator for this purpose will then conduct their own investigation. The written conclusion of this investigation will be sent to the complainant within 28 working days of receiving the formal complaint.

Safety Training Awards Complaints Escalation Procedures

If the complainant remains unsatisfied with the outcome from the ATCs formal complaints procedures they may escalate their complaint to the Awarding Organisation, Safety Training Awards. Please refer to the Safety Training Awards complaints policy on the website for further information https://www.safetytrainingawards.co.uk.

Regulatory Escalation Procedures
Ofqual and Qualifications Wales (QW) Escalation Procedures

If a customer or learner is not satisfied with the outcome decision from an ATC and Safety Training Awards they may escalate a complaint to the relevant regulator.

Please note the regulators are unable to overturn an assessment decision for regulated qualifications.

Ofqual
Earlsdon Park, 53-55 Butts Road Coventry, CV1 3BH
Tel: 0300 303 3344 / Email: public.enquiries@ofqual.gov.uk https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/1058907/6905_-_Ofqual_complaints_procedure.pdf

Qualifications Wales
Q2 Building, Pencarn Lane, Imperial Park, Coedkernew Newport, NP10 8AR Tel: 01633 373 222 / Email: enquiries@qualificationswales.org

SQA Accreditation (Scotland) Escalation Procedures

If a customer or learner is not satisfied with the final response from the ATC they may submit their complaint to Safety Training Awards by referring to the relevant policy on the website and following the correct procedures.

If a customer or learner is not satisfied with the outcome of a complaint to Safety Training Awards they may refer the complaint to SQA Accreditation (Scotland). If the complaint relates to delivery by a school or public leisure centre or any other public body in Scotland, the complaint could also be referred to the Scottish Public Service Ombudsman. Please see below for the relevant contact details:

SQA Accreditation (Scotland)
SQA Accreditation, The Optima Building,
58 Robertson Street, Glasgow, G2 8DQ
Tel: 0345 213 5249 www.accreditation.sqa.org.uk Email: accreditation@sqa.org.uk

For complaints relating to schools or public leisure centres in Scotland a complaint can be raised with the Scottish Public services Ombudsman as follows:

SPSO Freephone adviceline: 0800 377 7330
Fax: 0800 377 7331
Website: https://www.spso.org.uk/how-to-complain-about-public-service

Online contact form: www.spso.org.uk/contact-form
You can fill in our complaints form online at www.spso.org.uk/complain/form

In Person: SPSO, Bridgeside House, 99 McDonald Road, Edinburgh, EH7 4NS By Post: Freepost SPSO

Purpose

We are committed to eliminating discrimination and encouraging diversity amongst everyone, we aim to represent all sections of society.

Everyone should feel respected and able to give their best in all they do.

We are committed to ensuring this policy is both implemented and embedded for all ATC staff, customers and learners. As an Approved Training Centre, we consistently ensure that the training we provide is inclusive and accessible to everyone. All ATC staff, customers and learners are responsible for the implementation of this policy.

Policy

Our policy is to provide equality and fairness for all ATC staff, customers, and learners and not to discriminate on grounds of gender, gender reassignment, marital status (including civil partnerships), race, ethnic origin, colour, nationality, national origin, disability, sexual orientation, religion, or age. STA oppose all forms of unlawful and unfair discrimination.

All ATC staff, customers, and learners will be treated fairly with respect. Any person involved in the delivery, assessment of our STA qualifications should have equal opportunities to access the qualifications, assessments, related products, and services and that the content of the qualifications and assessments should reflect the wide diverse audience. We strive to support and encourage learners of all abilities to ensure the qualifications are awarded fairly to everyone whilst ensuring the integrity of the qualifications are maintained. All training will be based on aptitude and ability, after making reasonable adjustments or special considerations where appropriate.

All ATC staff, customers, and learners will be helped and encouraged to develop their full potential and the talents and resources of the workforce will be fully utilised to maximise the efficiency of the business.

It is illegal to discriminate directly or indirectly and hinder equality of opportunity, therefore it is our intention to ensure that nobody is subject to unfair treatment in any way and we recognise our responsibilities and legal obligations.

Our Equality and Diversity policy is in line with The Equality Act 2010 and we endeavour to take positive action to:

• Provide everybody with the same opportunities for training
• Ensure everybody is aware of, understands and abides by our Equality Policy to comply with current legislation
• Take a no-tolerance approach to any form of intimidation, bullying or harassment
• Develop qualifications, support services and products which take into consideration the needs of all learners and do not unnecessarily discriminate against any individual or group
• Promote fair access to qualifications, minimising any barriers to access or assessment by implementing reasonable adjustments and special considerations policies
• Ensure that learning opportunities and fair assessment is open to all who will benefit without compromising the integrity of qualifications
• Ensure content and language of all written content, including assessment materials and programmes are non-discriminatory and free from any bias or stereotypical wording
• Monitor our qualifications, entry requirements and assessments to identify barriers to access or achievement, and remove or minimise unnecessary barriers or bias which could impact on individuals or groups.
 

As an Approved Training Centre we shall implement this policy through:

• Ensuring all staff and learners have access to this information to assist them in planning, putting into practice and monitoring their rights and responsibilities under this policy
• Providing support and relevant training / updates for all staff and revising any policy or practice that could disadvantage individuals or groups
• Provision of regular CPD / updates for staff
• Ensure all staff, and learners know how to offer feedback and register complaints
• Effective complaints procedures will be used to resolve complaints of discrimination with a full and prompt consideration under this policy, breaches of this policy will be dealt with through our Approved Training Centre Complaints Policy.

Purpose

We are committed to having effective internal quality assurance procedures in place to verify authenticity of the assessment decisions for the qualifications on offer.

Effective internal quality assurance allows everyone involved in qualifications to have confidence in the assessment decisions. All learners who are competent should be assessed as meeting the assessment criteria set out in Safety Training Awards (STA) assessment criteria and qualification specifications, ensuring the validity of assessment decisions is a joint responsibility for all those involved in the internal quality assurance of the qualifications.

Policy

The ATC named above works collaboratively with Safety Training Awards to maintain high standards, however we have full responsibility for the Internal quality assurance within the ATC. The ultimate success of internal quality assurance depends on the individuals who implement the procedures, this means that everyone involved in the internal quality assurance of qualifications must be clear:

• What their role and responsibilities are in relation to internal quality assurance
• Why they should be doing it
• How they should be doing it
• When they should be doing it
• What standards they should be achieving; and
• Who is responsible for different parts of the overall quality assurance system.

As an ATC we have developed an internal quality assurance strategy to ensure that internal quality assurance is maintained not only in the standards of assessment but also the administration procedures and systems in place within the ATC.

The monitoring of all aspects of the assessment process through the strategy will allow the ATC to be pro-active and progressive in continually improving standards and performance.

Safety Training Awards must be confident of the standard and reliability of the ATCs management, internal quality assurance and assessment, therefore the strategy will include the following:

Risk assessments

• Working with Tutors and Assessors
• Guidance and Support to Tutors and Assessors
• Sampling of assessments
• Monitoring of assessment practice
• Tracking of learner progress
• Standardisation
• IQA reporting and documentation
• IQA Meetings.

There are two types of quality assuring of qualifications, external quality assurance is Safety Training Awards responsibility for validating those assessments within the ATC have been carried out consistently and to Safety Training Awards assessment criteria. Internal quality assurance carried out by the IQA is the ATCs responsibility to ensure that assessments are carried out in line with STA assessment criteria and qualification specifications.

Internal Quality Assurer (IQA) Role

Verification is one aspect of internal quality assurance which relates to the day-to-day delivery and assessment of STA qualifications. It is the process of monitoring delivery and assessment practice to ensure that assessment decisions are consistently accurate. The purpose of internal quality assurance is to ensure and demonstrate that assessment is valid and consistent, through monitoring and sampling assessment decisions. Rigorous internal quality assurance ensures sound assessment practice leading to consistent and valid assessment decisions. IQA’s contribute to the internal quality assurance of STA qualifications.

Internal quality assurance involves:

• Monitoring the conduct of delivery and assessment
• Sampling learners evidence to verify assessment decisions
• Assuring the quality of the systems and procedures used for assessment and verification
• Supporting and advising Tutors and Assessors
• Keeping quality assurance and assessment records up to date; and
• Providing information and evidence to Safety Training Awards for analysis.

The IQA role can be determined by the criteria within the IQA qualification units. The main functions of an IQA are to:

• Provide advice and support to the assessor and tutor
• Operate, monitor, and evaluate to a consistently high standard of assessment practice
• Meet and maintain external quality assurance requirements set by Safety Training Awards and the regulatory authorities.

Selection and Training of IQAs

The appointed IQA will have appropriate occupational competence and understanding of the standards and their role. The ATC will ensure that all IQA’s have appropriate occupational competence and understanding of the standards and their role, and that they maintain professional competence through their Continuous Professional Development (CPD).

This includes:

• IQA CV’s are checked and validated to ensure occupational competence at an appropriate level in the specific sector as required by Safety Training Awards and copies to be held in their staff record within the ATCs STA Online account
• A system of professional updating is available for all IQAs
• Newly appointed IQAs are monitored by Safety Training Awards EQA on a regular basis to ensure their understanding is thorough
• Training/development is carried out to address identified training needs
• All IQAs have a clear understanding of their role in the internal quality assurance systems

The ATC must ensure all final assessment decisions are quality assured by a qualified and occupationally competent IQA.

IQA Continuous Professional Development (CPD)

IQA’s will be required to maintain their CPD and ensure continuing competence. Competence refers to having the relevant skills, knowledge, understanding and attributes to do a specific job in a particular way to an agreed standard.

CPD can take many forms and a record of activities should be available for the previous 12 months, for example:

• Studying for the level 4 Internal Quality Assurance of Assessment Processes and Practice qualification
• Study related to job role/occupational competency
• Collaborative working with Safety Training Awards
• Development work regarding qualifications/occupational Standards
• Other appropriate occupational activity as agreed with the ATC Co-ordinator and/or EQA.

IQA’s who already possess D34 or V1 qualification will be expected to update their CPD to reflect the recent IQA requirements through development of their role. This does not imply that they must achieve IQA re-qualification as this is not a current requirement of the regulators.

Risk Assessment

The IQA will be required to carry out a risk assessment on all Tutors and Assessors listed within the ATC. The risk assessment will identify the necessary contact time and support needed from the IQA for each individual Tutor and Assessor.

The risks will be recorded on the ATCs IQA strategy and Sampling Plan. The risk assessment must be reviewed on a regular basis and maintained as a live document and all changes to staffing should be reflected within the risk assessment.

It is anticipated that in most instances new Tutors and Assessors risk banding scores will diminish as they gain experience and competence through the achievement of their Tutor and Assessor qualifications. Those Tutors and Assessors who have multiple learners may be in more than one category dependent on the qualifications the assessor and tutor are involved with and/or any special circumstances.

Risk Rating

There are various factors which decide risk ratings and this can depend on qualification to qualification but laid out below is a guide:

High Risk – A high risk Tutor or Assessor could be one or more of the following:

• A probationary Tutor or Assessor
• Newly qualified to deliver Safety Training Awards qualifications
• A Tutor or Assessor who is newly appointed to operate within your ATC
• An experienced Tutor or Assessor who is operating across more than two other ATCs
• A Tutor or Assessor who has been sanctioned by Safety Training Awards or another Awarding Organisation (AO)
• Major action points been given during recent IQA activity
• A qualification has been re-written and therefore it is new to the Tutor or Assessor.

It is recommended a high-risk Tutor or Assessor has a 100% of all course paperwork internally quality assured and face to face observations are increased.

Medium Risk – A medium risk Tutor or Assessor could be one or more of the following:

• A Tutor or Assessor who has delivered less than 10 courses
• They may have moved down from ‘high risk’ due to recent successful IQA activity
• An experienced Tutor or Assessor who operates for 2 or less other ATCs
• They have no sanctions applied by Safety Training Awards or another AO
• Minor action points given during recent IQA activity.

It is recommended a medium risk Tutor or Assessor has 50% of all course paperwork internally quality assured.

Low Risk – A low risk Tutor or Assessor could be one or more of the following:

• An experienced Tutor or Assessor who has delivered over 10 courses
• They may have moved down from ‘medium risk’ due to successful recent IQA activity
• A Tutor or Assessor who only operates for your ATC
• They have no sanctions by Safety Training Awards or another AO
• There are no actions points from recent IQA activity.

It is recommended a low-risk Tutor or Assessor has 25% of all course paperwork IQA.

Team members can move up and down risk ratings depending on the outcome of recent IQA reports. It is a dynamic process. The ATC Centre Co-ordinator and IQA should work with the Tutors and Assessors to give feedback on action points or other areas and plan how to support the team members moving down the categories towards ‘low’.

Information on risk rating and regular updates on the outcome of risk ratings must be recorded. These documents should also be made available to STA and EQA upon request.

Please refer to the ATCs IQA Strategy and IQA Sampling plan for more information.

Working with Tutors and Assessors

New Tutors and Assessors

Tutors and Assessors new to the delivery and assessment process will be required to meet with their IQA within the first month from the date of being appointed to the ATC. The IQA and Tutor or Assessor will be required to review their strengths and weaknesses and identify any development needs and agree upon an action plan.

Experienced Tutors and Assessors

Experienced Tutors and Assessors will be risk rated and a review may be carried out on their strengths and weaknesses and identify any development needs and agree upon an action plan on a regular basis. IQAs and the ATC Co-ordinator have a responsibility to ensure all Tutors and Assessors attend regular Standardisation meetings with the ATC, annually as a minimum. This must be reported to Safety Training Awards by uploading copies of the meeting minutes and any agreed action plans to the ATCs STA Online account.

The purpose of standardisation will be to discuss:

• Examples of good practice
• What constitutes valid, reliable, and authentic evidence
• Ideas on different examples of delivery and assessment
• Sharing of best practice ideas
• Different delivery and assessment methods
• What constitutes fair assessment
• How comparability may be achieved.

Monitoring of Delivery and Assessment

Monitoring of delivery and assessment provides an internal quality assurance process which allows the IQA to ensure that assessment strategies are being utilised in accordance with STAs assessment criteria and qualification specifications. This monitoring will vary between Tutors and Assessors dependant on experience. The amount of contact will be determined from the results of the risk rating assessment. It should be noted that extra support may be required for some Tutors and Assessors, IQAs will need to use their own discretion to determine this.

The purpose monitoring delivery and assessment will be to:

• Check the progress of the learner
• Ensure that there is consistent interpretation of the standards and assessment strategy set out by STA

Directly observe part of the delivery or assessment process

• Identify and resolve any problems/issues
• Provide guidance and support where required, in particular with the completion of STA course paperwork and assessment materials
• Identify any training needs and agree upon an action plan or seek advice from Safety Training Awards
• Review overall performance and risk ratings, update when necessary.

The IQA will be required to provide feedback to the Tutor or Assessor via the electronic IQA report in the ATCs STA Online for each monitoring activity that is completed. This will summarise the main areas of discussion, feedback or action points agreed, any areas of delivery or assessment checked or observed and the risk rating score. This form must be signed by both the Tutor or Assessor and IQA.

Standardisation Meetings

Regular ATC / IQA standardisation meetings must be held by the ATC, annually as a minimum. IQA’s will be expected to have regular attendance to ensure they keep up to date with the ATCs policies and procedures. This will also provide a forum for the reviewing of the internal quality assurance procedures, problem solving and sharing of information and best practice ideas.

Purpose

(ATC) will strive to avoid any conflict of interest between the interests of the Organisation on the one hand, and personal, professional, and business interests on the other. This includes avoiding actual conflicts of interest as well as the perception of conflicts of interest.

The purpose of this policy is to protect the integrity of the Organisation’s decision-making process, to enable our learners to have confidence in our integrity, and to protect the integrity and reputation of volunteers, staff, awards and awarding organisation.

The main conflicts of interest may include as follows:

• Tutors who may manage the booking of assessments, registration of learners and printing of assessment materials for subjects they teach.
• Tutors acting as assessors for their own learners.
• Safety Training Awards staff acting as tutors or invigilators for an ATC.
• Tutors acting as Internal Quality Assurers (IQA) for their own learners.
• Tutors directly related to Internal Quality Assurers (IQAs).

This list is not exhaustive

Document review

Our policy is reviewed on an annual basis

Due to the potentially confidential information in ATC documents and information this policy is for internal staff and those working by request.

It will be made available to the awarding body and regulators on request.

This policy covers the identifications and mitigation of conflicts of interest that may lead the named ATC in experiencing an adverse effect.

This policy outlines the roles and responsibilities of individuals within the organisation in relation to identifying and declaring conflicts of interest.

This policy applies to all staff including but not limited to:

• All staff
• All volunteers
• IQAs
• EQAs
• External examiners / assessors
• family of staff and volunteers

Definition of a Conflict of Interest

Ofqual defines that a conflict of interest exists in relation to an awarding organisation where:

(a) Its interests in any activity undertaken by it, on its behalf, or by a member of its Group have the potential to lead it to act contrary to its interests in the development, delivery and award of qualifications in accordance with its Conditions of Recognition,

(b) A person who is connected to the development, delivery and award of qualifications by the Awarding Organisation has interests in any other activity which have the potential to lead that person to act contrary to his or her interests in that development, delivery or award in accordance with the awarding organisation’s Conditions of Recognition, or

(c) Any informed and reasonable observer would conclude that either of these situations was the case.

Where a learner identifies a potential conflict of interest that requires an immediate resolution, they should verbally declare this conflict to the most senior member of the ATC team who will manage this in accordance with the procedure.

All verbal declarations are still required to be reported to the ATC Co-ordinator / Centre Manager.

Intelligence

Potential conflicts of interest may be identified through a range of intelligence channels. These may include, but are not limited to:

• EQA reports
• Social media
• Forums and working parties
• Training Centre support interactions
• Regulatory guidance and notifications

Staff members and others identifying potential conflicts through these channels should report them to the ATC Co-ordinator / Centre Manager. The ATC Co-ordinator / Centre Manager is responsible for reviewing all submitted declarations and deciding whether there is a conflict of interest or not.

The ATC Co-ordinator / Centre Manager decision and rationale should be recorded on a declaration form. Whether a conflict of interest has been proven to exist or not, a record is made on the conflicts of interest register.

The ATC Co-ordinator / Centre Manager is responsible for updating and monitoring the conflicts of interest register which includes:

• Date declaration submitted
• Name of individual or group making the declaration
• Date reviewed by ATC Co-ordinator / Centre Manager
• Foreseeable impact
• Current controls in place
• Additional controls required
• Monitored by
• Open/closed

Managing conflicts of interest

It Is inevitable that conflicts of interest will arise, especially in a small company. The issue is not the integrity of the person(s) concerned but the effective management of such conflicts and any possible compromise to the ATC.

The purpose of managing the conflict is primarily to avoid the risk of an Adverse Effect as this can affect our business and our Conditions of Recognition. As an ATC, it may affect our registration. Managing conflicts of interest ensures that the ATC is responsible and transparent in its operations.

Data protection and confidentiality

The ATC named at the start of this policy will ensure all information provided to it will be held in accordance with the General Data Protection Regulations. Information shared will only be used to ensure all those involved with the awarding organisation act in the best interest of the organisation. Information will not be used for any other purpose.

Purpose

It is our intention to work closely with Learners, Tutors, Assessors, and Internal Quality Assurers (IQA) to ensure that:

• Any potential malpractice and/or maladministration is identified promptly
• All allegations of malpractice are investigated methodically and equitably in line with Safety Training Awards requirements
• If malpractice and/or maladministration is proven, it is promptly corrected or the effects on users of qualifications mitigated to uphold the validity of qualifications issued by the awarding organisation
• Procedures are kept under review to ensure cases of malpractice and/or maladministration are prevented wherever possible.

• What is Malpractice?

  Malpractice is defined as any deliberate activity, neglect, default, or other practice that compromises the integrity of the internal or external assessment process and/or validity of achievement and certification of a qualification awarded by Safety Training Awards (STA). It covers the deliberate actions, neglect, default, or other practice that may compromise the following:

  • The assessment processes
  • Integrity of a regulated qualification
  • The validity of results or a certificate
  • The reputation and credibility of regulated qualifications or of the wider qualifications community.

  Examples of malpractice could include, but are not limited to:

  Listed below are examples of centre and learner malpractice. Please note that this list is not exhaustive and is only intended as guidance on our definition of malpractice:

  • Plagiarism: taking or copying someone else’s work or ideas and passing them off as one’s own
  • Collusion, or permitting collusion: co-operation with another Learner, Tutor, Assessor or IQA for a dishonest purpose, for example when completing assessment tasks
  • Impersonating another learner or providing forged identification documentation
  • Submission of false information, including authenticity statements
  • Deliberate failure to carry out delivery, assessment, and internal quality assurance in accordance with Safety Training Awards requirements
  • Deliberate failure to adhere to learner registration and certification procedures
  • Deliberate failure to adhere to the Approved Training Centre (ATC) agreement, including Tutor, Assessor and IQA agreements
  • Deliberate failure to adhere to record keeping requirements
  • Fraudulent certificate claims
  • Persistent instances of maladministration
  • Unauthorised use of equipment and materials in assessments
  • Intentionally withholding information from Safety Training Awards
  • A loss, theft of, or breach of confidential assessment materials
  • Defacing, amending or falsifying assessment records
  • Deliberate failure to adhere to reasonable
  adjustment, or inappropriately assisting a learner
  • A deliberate act or omission of withholding or delaying information which is required to assure Safety Training Awards of the centres ability to deliver and assess qualifications appropriately
  • Misuse of Safety Training Awards logo or misrepresentation of a centre relationship with Safety Training Awards qualifications and/or its recognition and approval status with us.

  What is Maladministration?

  Maladministration is defined as any activity, neglect, default, or other practice that results in the centre, Tutor, Assessor, IQA or Learner not complying with Safety Training Awards requirements, Safety Training Awards Tutor, Assessor and/or IQA agreement and the general conditions of recognition, or regulatory principles.

  Maladministration is in effect any activity or practice which results to non-compliance with administrative requirements and regulations, this includes the application of persistent mistakes or poor administration within the centre including inappropriate learner records.

  Examples of maladministration could include, but are not limited to:

  Listed below are examples of centre and learner maladministration. Please note that this list is not exhaustive and is only intended as guidance on our definition of maladministration:

  • Persistent failure to adhere to our certification procedures
  • Inaccurate certificate claims
  • Persistent failure to adhere to our Approved Training Centre recognition and/or qualification requirements and/or associated actions assigned to that ATC
  • Failure to keep auditable records in accordance with Safety Training Awards requirements
  • Failure to adhere to delivery, assessment, and certification requirements
  • Failure to adhere to register learners in accordance with Safety Training Awards procedures
  • Unreasonable delays in responding to requests and/or communications from Safety Training Awards.

  Policy

  The ATC named above are responsible for establishing correct procedures to deal with any potential and/or actual cases of malpractice and/or maladministration and for ensuring that any cases are escalated to Safety Training Awards, in line with the current policy on the website. Reasonable actions must have been taken to prevent instances of malpractice and/or maladministration. All staff, tutors, assessors, IQAs or learners must be made aware of this policies contents and the procedures relating to this topic. ATC compliance with this policy and how they take reasonable actions to prevent and/or investigate instances of malpractice and/or maladministration, will be monitored through external quality assurance procedures. Failure to co-operate may lead to certificates not being issued to learners and future course registrations not being accepted. A failure to comply and to report any suspected or actual malpractice and/or maladministration cases or have in place effective arrangements to prevent such cases may lead to sanctions being imposed on the ATC.

  Reporting suspected instances of malpractice and/or maladministration

  If malpractice and/or maladministration is suspected or there has been an actual case, Safety Training Awards must be informed immediately, in writing / email and enclose appropriate supporting evidence.

  Please refer to the Safety Training Awards website to find further information on how to escalate a case of Malpractice and / or Maladministration.

  If an ATC has conducted an initial investigation prior to notifying Safety Training Awards they must ensure that all personnel involved in the initial investigation are competent and have no personal interest in the outcome of the investigation.

  Where cases have been identified by ATC staff, Tutors, Assessors, IQAs or Learners, the ATC Co-ordinator must be notified of any suspicion of malpractice and/or maladministration, so they can apply their own procedures where appropriate.

  Alternatively reports can be made by ATC staff, Tutors, Assessors, IQAs or Learners via the Safety Training Awards Whistleblowing policy, please refer to the website for more information.